DFX Intelligence

RIA Intelligence

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SEC-registered adviser

F••••• I••••••••• I•••

Independent wealth managerNorwood, MassachusettsCRD 166571SEC 801-110450website IAPD

Latest filing Mar 27, 2026

First filing on the tape Apr 13, 2017 · 15 filings

SEC status approved since Apr 21, 2017

RAUM

$188M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$187M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$93.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

15 filings and snapshots on the tape

RAUM$188M as of Mar 27, 2026

Mar 21, 2018$135M then

HNW client RAUM$164M as of Mar 27, 2026

Mar 21, 2018$102M then

State-registered IARs (5.B.3)2 as of Mar 27, 2026

Mar 21, 20182 then

Employees (5.A)4 as of Mar 27, 2026

Mar 21, 20185 then

Private funds: no history

RAUM +7.3% over the last fiscal year+15% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes, each a printed rule

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $93.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 47derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.2MderivedHNW RAUM over HNW clients
Average account: $497,616derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +7.3%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -98%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
Custody: $31.2M, 28 clientsreportedItem 9.A
Ownership: no PE, bank or public-company owner found on Schedule Aderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

buys or sells securities as principal to or from clients (8.A.2)
has discretionary authority over which securities are bought or sold (8.C.1)
receives research or other products from a broker-dealer, soft dollars (8.E)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$164M88%
Individuals$22.4M12%
Corporations and businesses$882,7690.5%

Individual clients: 41reported
HNW clients: 52reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 377reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $31.2M for 28 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
M•••••• C•••• S•••••Chartered Financial Analyst	Norwood, Ma	Apr 2, 2013	26 y	1
J••• S•• C•••	Norwood, Ma	May 9, 2014	12 y	0

Advisor movement

0 left, 0 joined in 12 months

net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months

Left, latest

K••••••• R•••• to S••••• W••••• A•••••••• I•••
Mar 10, 2025 · Other

Joined, latest

K••••••• R•••• from S•••••••• A••••••• L••
Aug 18, 2020 · Affiliated broker-dealer or bank to independent RIA
M•••••• C•••• S••••• from F••••• L••
Apr 2, 2013 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••• M••••••• C•••• · President And Chief Compliance Officercontrol
since 11/2012 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Norwood, Ma · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

clients down average size upCombination · filing Mar 27, 2026
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $174,774,427 to $187,601,199, advisors 2 to 2, private clients 5097 to 93, offices 0 to 0 (2025-03-29 to 2026-03-27)
peers: independent wealth managers, $100M to $500M (5,678)
client count collapseChange between filings · filing Mar 27, 2026
individual and HNW clients (Item 5.D) moved from 5,097.0 to 93.0 (-98.0%) between the annual amendments of 2025-03-29 and 2026-03-27; the peer median change was +3.0% (3309 comparable advisers, 0.0th percentile of changes)
peers: independent wealth managers, $100M to $500M (3,309) · 0.0% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 382 to 377
Aug 13, 2025 to Mar 27, 2026
Individual clients · 45 to 41
Aug 13, 2025 to Mar 27, 2026
Assets in custody · $109M to $31.2M
Aug 13, 2025 to Mar 27, 2026
Discretionary RAUM · $175M to $188M
Aug 13, 2025 to Mar 27, 2026
HNW RAUM · $153M to $164M
Aug 13, 2025 to Mar 27, 2026
Individual RAUM · $20.7M to $22.4M
Aug 13, 2025 to Mar 27, 2026
RAUM · $175M to $188M
Aug 13, 2025 to Mar 27, 2026
Individual clients · 5,045 to 45
Mar 29, 2025 to Aug 13, 2025
Accounts · 380 to 382
Mar 4, 2024 to Mar 29, 2025
Advisory employees · 3 to 2
Mar 4, 2024 to Mar 29, 2025
HNW clients · 48 to 52
Mar 4, 2024 to Mar 29, 2025
Individual clients · 50 to 5,045
Mar 4, 2024 to Mar 29, 2025
Assets in custody · $62.0M to $109M
Mar 4, 2024 to Mar 29, 2025
Employees · 5 to 4
Mar 4, 2024 to Mar 29, 2025
Financial planning clients · 1-10 to 1-10
Mar 4, 2024 to Mar 29, 2025
State-registered IARs · 3 to 2
Mar 4, 2024 to Mar 29, 2025
Discretionary RAUM · $160M to $175M
Mar 4, 2024 to Mar 29, 2025
HNW RAUM · $135M to $153M
Mar 4, 2024 to Mar 29, 2025
Individual RAUM · $23.8M to $20.7M
Mar 4, 2024 to Mar 29, 2025
RAUM · $160M to $175M
Mar 4, 2024 to Mar 29, 2025
Accounts · 370 to 380
Apr 11, 2023 to Mar 4, 2024
HNW clients · 46 to 48
Apr 11, 2023 to Mar 4, 2024
Individual clients · 51 to 50
Apr 11, 2023 to Mar 4, 2024
Assets in custody · $10.7M to $62.0M
Apr 11, 2023 to Mar 4, 2024
Discretionary RAUM · $137M to $160M
Apr 11, 2023 to Mar 4, 2024
HNW RAUM · $113M to $135M
Apr 11, 2023 to Mar 4, 2024
Individual RAUM · $23.2M to $23.8M
Apr 11, 2023 to Mar 4, 2024
RAUM · $137M to $160M
Apr 11, 2023 to Mar 4, 2024
HNW clients · 45 to 46
Mar 7, 2023 to Apr 11, 2023
Discretionary RAUM · $124M to $137M
Mar 7, 2023 to Apr 11, 2023
HNW RAUM · $100M to $113M
Mar 7, 2023 to Apr 11, 2023
RAUM · $124M to $137M
Mar 7, 2023 to Apr 11, 2023
Accounts · 381 to 370
Mar 8, 2022 to Mar 7, 2023
HNW clients · 57 to 45
Mar 8, 2022 to Mar 7, 2023
Individual clients · 39 to 51
Mar 8, 2022 to Mar 7, 2023
Assets in custody · $149M to $10.7M
Mar 8, 2022 to Mar 7, 2023
Discretionary RAUM · $153M to $124M
Mar 8, 2022 to Mar 7, 2023
HNW RAUM · $136M to $100M
Mar 8, 2022 to Mar 7, 2023
Individual RAUM · $16.7M to $23.2M
Mar 8, 2022 to Mar 7, 2023
RAUM · $153M to $124M
Mar 8, 2022 to Mar 7, 2023

Signals

2 dated events

K••••••• R•••• left F••••• I••••••••• I••• for S••••• W••••• A•••••••• I••• (registered 2025-04-30)
Mar 10, 2025 · Advisor changed firm · fact
F••••• I••••••••• I••• filed its initial SEC registration (Form ADV)
Apr 13, 2017 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Business email: info@finarc.comreportedpublished by the firm, firm site, Sep 16, 2026
Business email: patricia.weller@finarc.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 781-762-0269reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 781-762-8080reportedpublished by the firm, firm site, Sep 16, 2026
Website: F•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 781-762-8080reportedpublic record, Form ADV, Mar 27, 2026
Team page: finarc.com/our-teamreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Form ADV: SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors: IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class: Independent wealth managerderiveda rule over Items 5.D and 7.A
RAUM per advisor: $93.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026